Form D · Other Investment Fund
ROYCE INSTITUTIONAL, LLC - MICRO-CAP PORTFOLIO
New York, NY · CIK 0001461093
Offering snapshot reported Mar 13, 2023 · SEC filing
- Reported sold
- $10.4M Indefinite offering
- Investors reported
- 4 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Dec 1, 1994 As reported in this filing
Fundraising history
Reported soldDates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 13, 2023 | Amendment | $10,445,000 | $0vs Mar 16, 2022 | 4 | SEC filing |
| Mar 16, 2022 | Amendment | $10,445,000 | $0vs Mar 18, 2021 | 4 | SEC filing |
| Mar 18, 2021 | Amendment | $10,445,000 | $0vs Mar 18, 2020 | 4 | SEC filing |
| Mar 18, 2020 | Amendment | $10,445,000 | $0vs Mar 19, 2019 | 4 | SEC filing |
| Mar 19, 2019 | Amendment | $10,445,000 | $0vs Mar 19, 2018 | 4 | SEC filing |
| Mar 19, 2018 | Amendment | $10,445,000 | $0vs Mar 20, 2017 | 4 | SEC filing |
| Mar 20, 2017 | Amendment | $10,445,000 | $0vs Mar 18, 2016 | 4 | SEC filing |
| Mar 18, 2016 | Amendment | $10,445,000 | $0vs Mar 18, 2015 | 4 | SEC filing |
| Mar 18, 2015 | Amendment | $10,445,000 | $0vs Mar 18, 2014 | 4 | SEC filing |
| Mar 18, 2014 | Amendment | $10,445,000 | $0vs Mar 18, 2013 | 4 | SEC filing |
| Mar 18, 2013 | Amendment | $10,445,000 | $0vs Mar 16, 2012 | 4 | SEC filing |
| Mar 16, 2012 | Amendment | $10,445,000 | $0vs Mar 16, 2011 | 4 | SEC filing |
| Mar 16, 2011 | Amendment | $10,445,000 | $0vs Mar 16, 2010 | 4 | SEC filing |
| Mar 16, 2010 | Amendment | $10,445,000 | No comparison | 4 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-129732
Source: Form D, filed Mar 13, 2023. Minimum accepted may differ from a standard advertised minimum.
Fund connections
The linked fund shows its most recently reported ADV details.
Matched by reported Form D file number
ROYCE INSTITUTIONAL, LLC - MICRO-CAP PORTFOLIO
Investment adviser: ROYCE & ASSOCIATES, LP
- Gross asset value
- $8.14M
- Beneficial owners
- 1
- ADV minimum commitment
- $5M
Reported in Form ADV on Jul 27, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
PRICEWATERHOUSECOOPERS LLP
PCAOB 238
Filing source
Form ADV 1777375 · Jul 27, 2023 · Schedule D 7.B.(1), fund 805-6653458212
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Chris Clark | Executive |
| John E. Denneen | Executive |
| John D. Diederich | Executive |
| Jack E. Fockler, Jr. | Executive |
| Francis Gannon | Executive |
| W. Whitney George | Executive |
| Peter Hoglund | Executive |
| Daniel S. Madden | Executive |
| Michael A. Mc Allister | Executive |
| Daniel A. O'byrne | Executive |
| Charles M. Royce | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:New York, NY, 10151